Workpapers

Auditing with technology, not time.

OVERVIEW

The AuditMiner program is based on the idea that no matter where plan assets are held, the plan’s audit package and reports all look the same. Processing takes a few minutes and the resulting workpapers are intuitive for auditors.

WHAT'S INCLUDED

The following AuditMiner workpapers are provided for each TPA:

Plan Analytics

Often utilized as preliminary analytical procedures performed during the risk assessment process.

Participant Activity Detail

Provided at 3 levels: Summary in Total, By Investment, and By Money Source

Income Allocation Testing

Produced with a random sample from the Participant Activity Detail.

Loan Package

Includes the population, a sample section with attributes for testing, and procedures to consider performing.

Distribution Package

Includes the population, a sample selection with attributes for testing, and procedures to consider performing.

Investment Disclosure Support

Includes detail needed for the Schedule of Assets and also a concentration analysis.

Contribution Timeliness

Includes a schedule of all paydays (if provided by the TPA), money source of the remittance, the date received by the TPA, and a calculation of days to remit.

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